9. Check if this filing amends a previously filed version of this report

10. Check if this is a Termination Report

Termination Date

11. No Lobbying Issue Activity

INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13

12. Lobbying

13. Organizations

INCOME relating to lobbying activities
for this reporting period was:

EXPENSE relating to lobbying activities
for this reporting period were:

Less than $5,000

Less than $5,000

$5,000 or more

$

$5,000 or more

$

865,000.00

Provide a good faith estimate, rounded to the nearest
$10,000,
of all lobbying related income from the client (including all
payments to the registrant by any other entity for lobbying
activities on behalf of the client).

LOBBYING ACTIVITY.
Select as many codes as necessary to reflect the general issue areas in which the registrant
engaged in lobbying on behalf of the client during the reporting period. Using
a separate page for each code, provide information as requested. Add additional page(s)
as needed.

18. Name of each individual who acted as a lobbyist in this issue area

First Name

Last Name

Suffix

Covered Official Position (if applicable)

New

Patti

Blumer

R. Lucia

Riddle

19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None

​

LOBBYING ACTIVITY.
Select as many codes as necessary to reflect the general issue areas in which the registrant
engaged in lobbying on behalf of the client during the reporting period. Using
a separate page for each code, provide information as requested. Add additional page(s)
as needed.

15. General issue area code FIN

16. Specific lobbying issues

Public Law 111-203, HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulatory reform.H.R.1610: To provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934.H. R. 31 To require the Inspector General of the Federal Housing Finance Agency to submit quarterly reports to the Congress during the conservatorship of the Federal National Mortgage Association and the Federal Home Loan Mortgage Corporation.

H. R. 1221 To suspend the current compensation packages for the senior executives of Fannie Mae and Freddie Mac and establish compensation for such positions in accordance with rates of pay for senior employees in the Executive Branch of the Federal Government, and for other purposes.

H. R. 1222 To increase the guarantee fees charged by Fannie Mae and Freddie Mac with respect to mortgage-backed securities guaranteed by such enterprises.

H. R. 1223 To amend the Securities Exchange Act of 1934 to ensure mortgages held or securitized by Fannie Mae and Freddie Mac and asset-backed securities issued by such enterprises are treated similarly as other mortgages and asset-backed securities for purposes of the credit risk retention requirements under such Act.

H. R. 1224 To increase the rate of the required annual reductions of the retained portfolios of Fannie Mae and Freddie Mac.

H. R. 1225 To prohibit Fannie Mae and Freddie Mac from issuing any new debt without approval in advance by the Secretary of the Treasury.

H. R. 1227 To prohibit Fannie Mae and Freddie Mac from offering any new products during the term of any conservatorship or receivership of such enterprises.

(S. __ )Kerry-Mccain privacy bill-A bill to establish a regulatory framework for the comprehensive protection of personal data for individuals under the aegis of the Federal Trade Commission. (Not yet introduced.)

18. Name of each individual who acted as a lobbyist in this issue area

First Name

Last Name

Suffix

Covered Official Position (if applicable)

New

R. Lucia

Riddle

Patti

Blumer

Richard C

Lawson

James N

Cavanaugh

19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None

​

LOBBYING ACTIVITY.
Select as many codes as necessary to reflect the general issue areas in which the registrant
engaged in lobbying on behalf of the client during the reporting period. Using
a separate page for each code, provide information as requested. Add additional page(s)
as needed.

15. General issue area code HCR

16. Specific lobbying issues

S174, to improve the health of Americans and reduce health care costs by reorienting the nation's health care system toward prevention, wellness, and health promotion.

17. House(s) of Congress and Federal agencies
Check if None

U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE

18. Name of each individual who acted as a lobbyist in this issue area

First Name

Last Name

Suffix

Covered Official Position (if applicable)

New

R. Lucia

Riddle

19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None

​

LOBBYING ACTIVITY.
Select as many codes as necessary to reflect the general issue areas in which the registrant
engaged in lobbying on behalf of the client during the reporting period. Using
a separate page for each code, provide information as requested. Add additional page(s)
as needed.

15. General issue area code RET

16. Specific lobbying issues

H.R. 677/S. 267, which would require 401(k) plan sponsors to inform participating workers of the projected monthly income they could expect at retirement based on their current account balance.

DOL proposed regulation to amend the definition of fiduciary

17. House(s) of Congress and Federal agencies
Check if None

U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), Treasury - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

First Name

Last Name

Suffix

Covered Official Position (if applicable)

New

Richard C

Lawson

James N

Cavanaugh

19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None

​

LOBBYING ACTIVITY.
Select as many codes as necessary to reflect the general issue areas in which the registrant
engaged in lobbying on behalf of the client during the reporting period. Using
a separate page for each code, provide information as requested. Add additional page(s)
as needed.

15. General issue area code TAX

16. Specific lobbying issues

S.85, to amend the Internal Revenue Code of 1986 to reduce the maximum rate of tax on the income of corporations to 20 percent.

S.107, to amend the Internal Revenue Code of 1986 to treat income earned by mutual funds from exchange-traded funds holding precious metal bullion as qualifying income HR749 - To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income.

HR1151- Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011 - Amends the Dodd-Frank Street Reform and Consumer Protection Act to direct the Secretary of the Treasury, in order to offset the costs of assistance under the Emergency Mortgage Relief and Neighborhood Stabilization Programs, to make risk-based assessments in the total amount of $2.5 billion on financial companies: (1) that manage hedge funds with $10 billion or more in assets under management on a consolidated basis; or (2) with $50 billion or more in total consolidated assets.

President's proposed Budget for Fiscal Year 2012 - tax issues related to life insurance and retirement.

17. House(s) of Congress and Federal agencies
Check if None

U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE

18. Name of each individual who acted as a lobbyist in this issue area

First Name

Last Name

Suffix

Covered Official Position (if applicable)

New

R. Lucia

Riddle

Richard C

Lawson

Patti

Blumer

James N

Cavanaugh

19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None

​

LOBBYING ACTIVITY.
Select as many codes as necessary to reflect the general issue areas in which the registrant
engaged in lobbying on behalf of the client during the reporting period. Using
a separate page for each code, provide information as requested. Add additional page(s)
as needed.

18. Name of each individual who acted as a lobbyist in this issue area

First Name

Last Name

Suffix

Covered Official Position (if applicable)

New

Richard C

Lawson

19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None

​

LOBBYING ACTIVITY.
Select as many codes as necessary to reflect the general issue areas in which the registrant
engaged in lobbying on behalf of the client during the reporting period. Using
a separate page for each code, provide information as requested. Add additional page(s)
as needed.